[Form 4] ROCKET PHARMACEUTICALS, INC. Insider Trading Activity

Rhea-AI Filing Summary

Rocket Pharmaceuticals, Inc. (RCKT) CEO and director Gaurav Shah reported an open-market sale of 6,276 shares of common stock on November 18, 2025 at a price of $2.983 per share.

Following this transaction, he beneficially owns 778,296 shares directly, 207,897 shares indirectly through his spouse, and 198,341 shares indirectly through the Gaurav D. Shah Irrevocable Trust. The reported holdings include Restricted Stock Units that convert into common stock on a one-for-one basis.

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Shah Gaurav

(Last) (First) (Middle)

C/O ROCKET PHARMACEUTICALS, INC.

9 CEDARBROOK DRIVE

(Street)

CRANBURY NJ 08512

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
ROCKET PHARMACEUTICALS, INC. [ RCKT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CEO

3. Date of Earliest Transaction (Month/Day/Year)
11/18/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock(1)	11/18/2025		S		6,276	D	$2.983	778,296	D
Common Stock								207,897	I	By Spouse
Common Stock								198,341	I	By Gaurav D. Shah Irrevocable Trust

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Holdings include Restricted Stock Units ("RSUs") that convert to common stock on a one-for-one basis.

	/s/ Martin Wilson, as attorney-in-fact for Gaurav Shah	11/20/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What insider transaction did RCKT CEO Gaurav Shah report?

Gaurav Shah reported selling 6,276 shares of Rocket Pharmaceuticals common stock on November 18, 2025 at a price of $2.983 per share.

What is Gaurav Shah’s role at Rocket Pharmaceuticals (RCKT)?

Gaurav Shah is both a director and an officer of Rocket Pharmaceuticals, serving as the company’s CEO.

How many RCKT shares does Gaurav Shah own after the reported sale?

After the sale, Gaurav Shah beneficially owns 778,296 shares directly, 207,897 shares indirectly through his spouse, and 198,341 shares indirectly through the Gaurav D. Shah Irrevocable Trust.

At what price were the Rocket Pharmaceuticals (RCKT) shares sold?

The reported sale of Rocket Pharmaceuticals common stock was executed at a price of $2.983 per share.

Do Gaurav Shah’s reported RCKT holdings include Restricted Stock Units (RSUs)?

Yes. The reported holdings include Restricted Stock Units (RSUs) that convert to Rocket Pharmaceuticals common stock on a one-for-one basis.

Is the Form 4 for RCKT filed by more than one reporting person?

No. The Form 4 is indicated as being filed by one reporting person, covering Gaurav Shah’s holdings and transactions.